Our Staff has compiled our research into a database of FINRA Broker Disclosures for Northwestern Mutual Investment Services, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Ethan Everett Baker | 7053689 | 1 | 04/01/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nicholas Alan Wood | 6511340 | 1 | 12/07/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Aaron Poreda | 6937121 | 1 | 07/02/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Buckley | 5756315 | 1 | 03/11/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Toney Ray Franklin | 6428775 | 2 | 09/16/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Joseph Spiess | 2609710 | 2 | 09/13/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sawyer C Green | 7522208 | 3 | 01/11/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Amit Dipak Patel | 6003243 | 1 | 03/19/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tyrail Williams | 2016884 | 1 | 10/13/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stewart Miller | 6144781 | 1 | 04/05/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |